Statutory assessment arrangements for the Foundation Phase and end of Key Stages 2 and 3 - Guidance - Hwb

 
Statutory assessment arrangements for the Foundation Phase and end of Key Stages 2 and 3 - Guidance - Hwb
Statutory assessment arrangements
for the Foundation Phase and
end of Key Stages 2 and 3

Guidance
Guidance document no: 252/2019
Date of issue: September 2019
Replaces guidance document no: 244/2018
Statutory assessment arrangements for the Foundation Phase and end of Key Stages 2 and 3 - Guidance - Hwb
Statutory assessment arrangements for the
             Foundation Phase and end of Key Stages 2 and 3
             Audience
             Primary and secondary headteachers of mainstream and special schools; other
             school managers; assessment coordinators and teachers; governing bodies of
             maintained schools; local authorities and national bodies with an interest in
             education.

             Overview
             This publication sets out the statutory requirements for teacher assessment for
             the Foundation Phase and end of Key Stages 2 and 3, and outlines the statutory
             requirements for annual National Reading and Numeracy Tests and personalised
             assessments in Years 2 to 9.

             Action required
             Headteachers and governing bodies of maintained schools must ensure that
             the requirements set out in this publication are understood by their staff and
             implemented fully, in line with the dates specified.
             All leaders of funded non-maintained settings should be aware of the
             requirements.

             Further information
             Enquiries about this document should be directed to:
             Curriculum and Assessment Division
             The Education Directorate
             Welsh Government
             Cathays Park
             Cardiff
             CF10 3NQ
             e-mail: assessment@gov.wales
                   @WG_Education
                   Facebook/EducationWales

             Additional copies
             This document can be accessed from the Welsh Government’s website at
             hwb.gov.wales/curriculum-for-wales-2008/foundation-phase/statutory-assessment-
             arrangements-for-the-foundation-phase-and-end-of-key-stages-2-and-3/

Mae’r ddogfen yma hefyd ar gael yn Gymraeg.
This document is also available in Welsh.
       © Crown copyright 2019   WG38593   Digital ISBN 978 1 83876 991 8
Statutory assessment arrangements for the Foundation Phase and end of Key Stages 2 and 3 - Guidance - Hwb
Contents
Introduction                                                                    2
Meeting the statutory requirements for assessment                               2
New national curriculum and assessment arrangements for Wales                   2
Linked support                                                                  2
General requirements                                                            3
Headteachers’ duties                                                            3
Foundation Phase Profile                                                        3
Foundation Phase – baseline assessment                                          3
End of Foundation Phase teacher assessment                                      4
Programmes of study                                                             4
End of key stage teacher assessment                                             4
School-based standardisation and moderation                                     5
Key Stages 2 and 3 cluster group moderation (core subjects)                     5
Statutory assessment arrangements for literacy and numeracy                     6
National Reading and Numeracy Tests and personalised assessments                7
Teacher assessment                                                              8
Learners to be assessed                                                         8
Foundation Phase requirements                                                   8
Key Stages 2 and 3 requirements                                                10
Appendix A                                                                     13
Strengthening confidence in teacher assessment                                 13
End-to-end process – glossary                                                  14
Appendix B                                                                     16
The Compact Profile Form                                                       16
Appendix C                                                                     18
Calculating teacher assessment subject levels: Key Stage 2 (Curriculum 2008)   18
Appendix D                                                                     19
Calculating teacher assessment subject levels: Key Stage 3 (Curriculum 2008)   19
Appendix E                                                                     20
Disapplication and modification                                                20
Temporary disapplication                                                       20
Procedures for giving directions                                               21
Form and content of the direction                                              21
Variation and revocation of directions                                         22
Duration of the direction                                                      23
Information to be provided about directions                                    24
Procedure for parental requests and appeals                                    24
Appendix F                                                                     26
Useful contacts                                                                26
Statutory assessment arrangements for the Foundation Phase and end of Key Stages 2 and 3 - Guidance - Hwb
Introduction
Meeting the statutory requirements for assessment

This publication replaces the 2018/19 version of the Statutory assessment arrangements for
the end of Foundation Phase and Key Stages 2 and 3 publication. It provides important
information regarding the statutory assessment arrangements for the Foundation Phase and
end of Key Stages 2 and 3, and sets out the statutory requirements for annual National
Reading and Numeracy Tests and personalised assessments.

Headteachers, governors, coordinators, teachers and practitioners, who will be involved in
the Foundation Phase and/or end of key stage statutory assessment arrangements, should
familiarise themselves with the key requirements set out in this publication. This will enable
school leaders and their staff to ensure that statutory assessment arrangements are
incorporated effectively in their planning for the year.

A visual representation of the end-to-end process of teacher assessment in Wales can be
found in Appendix A.

The process is designed to support and strengthen stakeholders’ knowledge and
understanding of both the procedure and principles of teacher assessment by making the
overall requirements easily accessible to all.

New national curriculum and assessment arrangements for Wales

A new curriculum is being developed for settings and schools in Wales. It will be available in
January 2020 and, subject to the legislative process, will be used throughout Wales from
September 2022.

Further information on the new curriculum and assessment arrangements can be found via
the following link:

www.beta.gov.wales/new-school-curriculum-overview

Linked support

As in previous years, information on National Data Collection and reporting arrangements
will be issued separately in the spring.

A summary of the key dates by when teacher assessment and paper-based National
Reading and Numeracy Tests should be finalised, in order to meet National Data Collection
requirements, will be made available online via the following link:

www.beta.gov.wales/data-collection-and-information-management-for-schools

                                              2
General requirements
Headteachers’1 duties2

Headteachers of maintained primary and secondary schools (mainstream and special
schools) have a duty to ensure effective delivery of the:

     Foundation Phase
     national curriculum
     statutory assessment arrangements of the National Reading and Numeracy Tests and
      personalised assessments.

The following guidance summarises how headteachers are required to comply fully
with these statutory assessment requirements.

Foundation Phase Profile

The Foundation Phase Profile (‘the profile’) has been developed to support assessment of
children’s learning and development throughout their time in the Foundation Phase, from
entry through to the end of the Foundation Phase (Year 2). Through the use of observations
and formative assessments, the profile supports practitioners to provide a developmentally
appropriate holistic curriculum for all children.

Use of the Foundation Phase Profile to carry out the baseline assessment
Since September 2015 it has been a statutory requirement that the profile be used to carry
out a statutory baseline assessment within the first six weeks of a child entering Reception
year.

Use of the Foundation Phase Profile to carry out the end of Foundation Phase
assessment
It is not compulsory to use the profile for the end of Foundation Phase assessment. Schools
should continue to use a best-fit approach against the outcome descriptors, using the
results from the profile to inform their judgement as they feel necessary.

Foundation Phase – baseline assessment

Headteachers must:

     remind practitioners of their duty to undertake the assessment arrangements
     identify which children should be assessed within the Reception year
     ensure that a statutory baseline assessment is undertaken during the first six weeks of
      a child entering the Reception year3 using the Foundation Phase Profile Compact
      Profile assessment

1
  Throughout this publication, where reference is made to the headteacher, the school governing body must
ensure that the headteacher’s duties are carried out by their nominated representative if the headteacher is
temporarily or permanently absent.
2
  Headteachers’ duties with regard to reporting to parents/carers and National Data Collection are covered in
separate guidance, to be issued in the spring term.
3
  The baseline assessment should be carried out in the language determined by the school’s curriculum
provision.
                                                      3
    ensure the Compact Profile scoring method within the Foundation Phase Profile is
     used to arrive at outcomes for the Areas of Learning assessed
    ensure that statutory teacher assessments against the Foundation Phase Areas of
     Learning are finalised and recorded for:
     − Personal and Social Development, Well-being and Cultural Diversity
     − Language, Literacy and Communication Skills
     − Mathematical Development
     − Physical Development.

End of Foundation Phase teacher assessment

Headteachers must:

    remind practitioners of their duty to undertake the assessment arrangements
    identify which children should be assessed at the end of the Foundation Phase
    ensure that statutory teacher assessments against the Foundation Phase Areas of
     Learning are finalised and recorded for:
     − Personal and Social Development, Well-being and Cultural Diversity
     − Language, Literacy and Communication Skills
     − Mathematical Development
    ensure that a statutory end of phase teacher assessment is undertaken not later than
     20 working days before the end of summer term.

Programmes of study

For Key Stages 2 and 3, teachers are required to assess learners’ progress against the
national curriculum levels within the programmes of study.

Schools are guided to ensure their expectations for learners are in keeping with the
expectations within the LNF and the programmes of study to better prepare learners for
GCSEs and the world of work.

End of key stage teacher assessment

Headteachers must:

    remind teachers of their duty to administer the assessment arrangements
    identify which learners should be assessed at the end of each key stage
    ensure that teacher assessment levels are recorded for each attainment target in all
     subjects with more than one attainment target
    ensure that overall subject levels are recorded for each subject
    ensure that a statutory end of key stage teacher assessment is undertaken not later
     than 20 working days before the end of summer term.

Specifically:

for Key Stage 2
    ensure that end of key stage teacher assessment is finalised and recorded for English,
     Welsh (if the learner has followed the Welsh programme of study) or Welsh second
     language, mathematics and science

                                             4
for Key Stage 3
    ensure that end of key stage teacher assessment is finalised and recorded for each
     core and non-core subject (see page 10).

School-based standardisation and moderation4

Headteachers must ensure that for English, Welsh or Welsh second language,
mathematics and science (Key Stages 2 and 3), and for all non-core subjects (Key
Stage 3 only):

     robust systems and procedures are in place to support accurate and consistent
      teacher assessment. These systems and procedures need to be focused on internal
      standardisation and moderation
     all teachers understand and apply the concept of best-fit judgements to learners’ work,
      in relation to the national curriculum outcome/level descriptions – see Making the most
      of assessment 7–14 (2010).

This should allow teachers, within each subject, to confirm a shared understanding of
national curriculum standards, based on an agreed selection of learners’ work and
supporting teacher commentary that shows the links to the level descriptions.

Guidance on implementing this duty
In order to comply with these requirements, headteachers should ensure that within
their schools they:

     have in place arrangements by which teachers confirm and maintain a shared
      understanding of national curriculum standards, using samples of their learners’ work
      to generate a reference set of exemplars (standardisation procedures)
     have in place arrangements, using selected learner profiles, so that teachers moderate
      end of key stage assessments and apply the outcomes from this internal moderation
      prior to finalising all learners’ end of key stage attainment
     maintain concise documentary evidence of these systems and procedures, and their
      annual application, for both internal and external quality assurance purposes
     undertake annual reviews to ensure both ongoing added value to existing assessment
      arrangements and that procedures reflect best practice and direct ownership by all
      teachers.

Key Stages 2 and 3 cluster group moderation (core subjects)

Headteachers must ensure that for English, Welsh or Welsh second language,
mathematics and science cluster group meetings for Key Stages 2 and 3 transition include
robust arrangements for moderation of examples of Year 6 and Year 9 learner profiles
selected from within the cluster group’s own schools.

4
  Standardisation and moderation are defined within the publication Ensuring consistency in teacher
assessment: Guidance for Key Stages 2 and 3 (2008). Note: These requirements may be interpreted with
regard to the context of each school’s particular circumstances (e.g. some small schools may wish to
network with teachers from neighbouring schools in order to bring together a viable group of teachers for
school-based standardisation/moderation purposes).
                                                    5
These arrangements should add value to school-based standardisation and moderation by
strengthening teacher assessment. They should also ensure that good practice within the
cluster is identified, shared and built upon, to set an agenda for improvement that reflects
local circumstances and needs.

Guidance on implementing this duty
In order to comply with these requirements, headteachers must ensure that:

     their own school representatives attend all cluster group moderation meetings
     they allow appropriate time for cluster group moderation meetings, and network with
      other headteachers within the cluster group to coordinate teachers’ availability
     their own teachers select learner profiles from their classes as evidence for the cluster
      group’s moderation
     they support their teacher representatives to share the outcomes of cluster group
      meetings with other staff
     agreed decisions and outcomes from cluster group meetings are implemented by all
      relevant staff within their own school, prior to end of key stage teacher assessment.

Practical guidance (including case studies of good practice) on operating cluster group
moderation is provided in the publication Ensuring consistency in teacher assessment:
Guidance for Key Stages 2 and 3, sent to schools in spring 2008.

hwb.gov.wales/curriculum-for-wales-2008/key-stages-2-to-4/ensuring-consistency-in-
teacher-assessment-guidance-of-key-stages-2-and-3/

Statutory assessment arrangements for literacy and numeracy

The LNF is a statutory curriculum requirement for learners aged 5 to 14. There is a statutory
requirement for schools to formatively assess learners’ literacy and numeracy skills across
the curriculum using the LNF. At the end of each year, schools are required to produce a
narrative report to parents5 on their child’s progress and next steps based on this
assessment in:

     Language, Literacy and Communication Skills and Mathematical Development in the
      Foundation Phase
     English, Welsh and mathematics at Key Stages 2 and 3.

Further guidance on the LNF is available on the Hwb website at:

hwb.gov.wales/curriculum-for-wales-2008/national-literacy-and-numeracy-framework/

5
  Throughout this publication, where reference is made to the ‘parent’ this refers to: all natural parents,
whether married or not; any person who, although not a natural parent, has parental responsibility for a child
or young person; and any person who, although neither a natural parent nor a person with parental
responsibility, has care of a child or young person, as defined in section 576 of the Education Act 1996.
                                                      6
National Reading and Numeracy Tests and personalised assessments

Headteachers must:

   make appropriate arrangements for administering the paper-based tests and
    online personalised assessments
   ensure that the paper-based tests are administered within the indicated test window as
    set out in the National Reading and Numeracy Tests assessment timetable and the
    personalised assessments are administered at least once during the academic year
   ensure that the paper-based tests and online personalised assessments are
    administered in accordance with the National Reading and Numeracy Tests – Test
    administration handbook 2019/20
   ensure that any decisions to disapply one or more of the paper-based tests or
    personalised assessments for learners, or to make access arrangements, are made in
    line with the access, modifications and disapplication sections of the National Reading
    and Numeracy Tests – Test administration handbook 2019/20
   sign and submit to the relevant consortium a declaration regarding the administration
    of the paper-based national tests.

                                            7
Teacher assessment
Learners to be assessed

All learners in Reception year and final years of the Foundation Phase, Key Stage 2
and Key Stage 3, must be assessed through teacher assessment.

Headteachers are responsible for reporting results for all learners on their school roll as at
the second Tuesday in May; this is known as the ‘specified date on roll’.

Learners who are moving to the next key stage programmes of study in the following school
year are regarded as being in the final year of the relevant key stage or phase. These
learners will be recorded in school management information systems (MIS) as being taught
in national curriculum year groups 2, 6 or 9. It is this, rather than learners’ dates of birth, that
indicates whether or not they are eligible for assessment at the end of the Foundation
Phase or Key Stages 2 or 3. For baseline assessment it is the learner's date of birth that
determines whether they are eligible for a baseline assessment, with the baseline
assessment year being defined as the academic year in which they reach the age of 5. Care
should be taken to ensure that this information is correctly recorded within the school MIS.

Most learners will be 7, 11 or 14 years old at the end of the Foundation Phase or respective
key stage. It is possible that some may be older and some may be taught in a class where
the majority of learners are of a different age. For each phase/stage, learners must be
statutorily assessed (i.e. they must receive a teacher assessment result) once only.

Individual learners may move from one key stage to the next at a different age to the
majority of their peers. However, if a school envisages that there may be
exceptional grounds for moving a whole class of learners either earlier or later from
one key stage to the next, this should be raised with the Curriculum Division (see
contact details in Appendix F) in advance of any implementation.

Foundation Phase requirements

Teachers and/or practitioners are required to assess children twice during the Foundation
Phase – a baseline assessment, carried out within the first six weeks of a child entering
Reception year, and an end of Foundation Phase assessment.

Baseline assessment
Teachers and/or practitioners are required to use the Compact Profile scoring method when
carrying out their statutory baseline assessments.

Teachers and/or practitioners are required to make their statutory baseline assessment
against four of the Foundation Phase Areas of Learning.

    Personal and Social Development, Well-Being and Cultural Diversity.
    Language, Literacy and Communication Skills.
    Mathematical Development.
    Physical Development.

                                                 8
End of Foundation Phase assessment
Teachers and/or practitioners are required to make their statutory end of the Foundation
Phase teacher assessments against three of the Foundation Phase Areas of Learning.

    Personal and Social Development, Well-Being and Cultural Diversity.
    Language, Literacy and Communication Skills.
    Mathematical Development.

There are currently no statutory requirements at the end of Nursery or Year 1; however
leaders/headteachers, where appropriate, should ensure that all teachers and/or
practitioners gather evidence to inform judgements on each child’s progress in all Areas of
Learning. The Foundation Phase Profile can be used to support these assessments.

The following table contains the valid outcome codes for statutory baseline and end of
Foundation Phase teacher assessments.

Foundation Phase Outcomes                 Valid teacher Baseline           End of phase
                                          assessment assessment            assessment
                                              codes

Performance above Foundation Phase               A                               
Outcome 6
Foundation Phase Outcome 6                       6                               

Foundation Phase Outcome 5                       5                               

Foundation Phase Outcome 4                       4                               

Foundation Phase Outcome 3                       3                               

Foundation Phase Outcome 2                       2                               

Foundation Phase Outcome 1                       1                               

Foundation Phase Outcome Gold                    G                               

Foundation Phase Outcome Silver                  S                               

Foundation Phase Outcome Bronze                  Z                               

Working towards Foundation Phase
                                                 W                               
Outcomes
Disapplied under sections 113–116
                                                 D                               
of the Education Act 2002
Not awarded a level for reasons
                                                 N                               
other than disapplication

                                             9
Key Stages 2 and 3 requirements

Teachers are required to make their statutory teacher assessments, at the end of the key
stage, for each eligible learner in:

Key Stage 2
   English
   Welsh (if the learner has followed the Welsh programme of study)6 or Welsh second
    language
   mathematics
   science

Key Stage 3
   English
   Welsh (if the learner has followed the Welsh programme of study) or Welsh second
    language
   mathematics
   science
   modern foreign languages7
   design and technology
   information and communication technology
   history
   geography
   art and design
   music
   physical education.

In order to fulfil statutory requirements, end of key stage teacher assessment must include:

     a level for each attainment target (for subjects with more than one attainment target)
     an overall subject level for each subject (please also see table on page 11 and
      Appendices C, D and E).

6
  Schools are required to assess learners at the end of Key Stages 2 and 3 in English and either Welsh or
Welsh second language. Learners should be assessed against the relevant programme of study which has
been followed, i.e. learners following the Welsh programme of study should be assessed in Welsh.
7
  In cases where learners are studying more than one modern foreign language at Key Stage 3, schools must
decide for each learner which one language should count for the purposes of statutory assessment.
                                                   10
Summary table for calculating end of key stage teacher assessment subject
levels/outcomes

    National curriculum                       Valid   Numerical
    levels/outcomes                          teacher    value
                                           assessment
                                              codes
    Exceptional Performance                      E             9

    National Curriculum Level 8                  8             8

    National Curriculum Level 7                  7             7

    National Curriculum Level 6                  6             6

    National Curriculum Level 5                  5             5

    National Curriculum Level 4                  4             4

    National Curriculum Level 3                  3             3

    National Curriculum Level 2                  2             2

    National Curriculum Level 1                  1             1

    National Curriculum Outcome 3                A           0.75

    National Curriculum Outcome 2                B           0.50

    National Curriculum Outcome 1                C           0.25
    Disapplied under sections 113–116
                                                 D             –
    of the Education Act 2002
    Not awarded a level for reasons
                                                 N             –
    other than disapplication

For subjects with more than one attainment target:

     subject levels/outcomes should be calculated using the numerical values assigned to
      each of the national curriculum level/outcome descriptions
     subject levels/outcomes should be calculated according to the weightings set out in
      Appendix C (Key Stage 2) or Appendix D (Key Stage 3).

For subject-level calculations of more than 1, halves should be rounded upwards to the next
whole number (to award a national curriculum level). School MIS should perform the
calculations once attainment target data have been entered.

For subject-level calculations of less than 1, the number should be rounded to the nearest
0.25 (to award a national curriculum outcome). School MIS should perform the calculations
once attainment target data have been entered.

                                            11
National Reading and Numeracy Test requirements
Schools are required to administer the paper-based National Reading and Numeracy Tests
and online personalised assessments to all learners in National Curriculum Years 2 to 9,
unless the tests/assessments are disapplied, and to record and upload learners’ raw test
scores for the paper-based tests.

Standardised scores and progress scores (where applicable) are then system-generated
based on the raw scores, the age of the learner on the date of test and the learner’s national
curriculum year group, for distribution to parents and carers.

                                             12
Appendix A
Strengthening confidence in teacher assessment

This poster can be accessed from the Hwb website at
hwb.gov.wales/curriculum-for-wales-2008/key-stages-2-to-4/end-to-end-process-for-
teacher-assessment/

                                           13
End-to-end process – glossary
Exemplification materials
Welsh Government guidance materials developed to provide key messages for planning
learning and teaching for each national curriculum subject. They include learners’ work to
exemplify the standards set out in the level descriptions and illustrate how to use level
descriptions to make best-fit judgements at the end of Key Stages 2 and 3.

Standardisation
A process whereby samples of previously completed work by the same learner or by
different learners are used to enable teachers to reach agreement on levels of attainment by
confirming a shared understanding of the characteristics of a level.

Standardisation and training meetings
School standardisation and training meetings provide an opportunity for teaching staff to
discuss and/or compare teacher assessments to ensure that their assessments are based
on a shared understanding of national curriculum level description characteristics, so that
standards are applied consistently when coming to a judgement on each learner’s
performance at the end of each phase/stage.

Schools are encouraged to review and refresh their school/department/cluster
standardisation portfolios periodically to ensure relevant and up-to-date examples of
learners’ work are included.

Portfolios (standardisation)
A school, department or cluster standardisation portfolio containing evidence of
achievements, from the same learner or from different learners, which demonstrates
characteristics of a particular outcome or level.

This evidence includes samples of learners’ work with brief commentaries and annotations,
showing how they reflect national standards. It may also include evidence from activities
that do not result in written outcomes, such as:

    tablet recordings (including those made by the learner)
    observation notes
    reading records
    videos
    annotated photographs
    evidence recorded on software packages
    assessment data.

School moderation meetings
School moderation meetings provide an opportunity for teachers to scrutinise learner
profiles to reach an agreement on the best-fit outcome/level that the child is currently
working at. This process needs to take place prior to cluster group moderation meetings.

School moderation meetings are a statutory requirement for all maintained schools at Key
Stages 2 and 3.

                                             14
Cluster group moderation meetings
Cluster group moderation meetings require secondary schools and their feeder primary
schools to come together to moderate examples of Year 6 and Year 9 learner profiles
provided by each school.

Best-fit teacher assessment judgements made in relation to a particular learner are
evaluated and confirmed by those teachers and school leaders in attendance.

It is compulsory for all maintained schools to participate in cluster group moderation
meetings for Key Stages 2 and 3.

Learner profile
A learner profile can be defined as: all available evidence from an individual learner that
demonstrates their understanding and independent use of skills across a range of
contexts. This should be as straightforward as the learner’s workbook or books.
Evidence can also include:

    the learner’s work
    tablet recordings (including those made by the learner)
    observation notes
    reading records
    videos
    annotated photographs
    evidence recorded on software packages
    assessment data.

Marking should provide contextual information, such as the amount of support given or
resources used, to enable someone other than just the class teacher to make a secure
judgement of the learner’s outcome/level.

                                              15
Appendix B
The Compact Profile Form

                           16
17
Appendix C
Calculating teacher assessment subject levels: Key Stage 2 (Curriculum
2008)

When calculating the subject level:

     the English attainment targets should be weighted equally as follows:
      ‒ Oracy (En1)                            1
      ‒ Reading (En2)                          1
      ‒ Writing (En3)                          1
     the Welsh attainment targets should be weighted as follows:
      ‒ Oracy (Cy1)                            4
      ‒ Reading (Cy2)                          3
      ‒ Writing (Cy3)                          3
     the Welsh second language attainment targets should be weighted as follows:
      ‒ Oracy (Ca1)                            7
      ‒ Reading (Ca2)                          1.5
      ‒ Writing (Ca3)                          1.5

For subject-level calculations of less than 1, the number should be rounded to the
nearest 0.25 (to award a national curriculum outcome). For subject-level calculations of
more than 1, halves should be rounded upwards to the next whole number (to award a
national curriculum level).

An example for Welsh second language
To calculate the subject level for this learner, total column (c) then divide by the total of
column (b) (44 ÷ 10 = 4.4). Round to the nearest whole number. This learner has attained
Level 4.

    Attainment         (a) Level      (b) Weighting       (c) Level x
    target                                                weighting
    Oracy (Ca1)             5                7                35
    Reading (Ca2)           3               1.5              4.5
    Writing (Ca3)           3               1.5              4.5
    Total                                   10                44

                                              18
Appendix D
Calculating teacher assessment subject levels: Key Stage 3 (Curriculum
2008)

When calculating the subject level:

       the English attainment targets should be weighted equally as follows:
        ‒ Oracy (En1)                            1
        ‒ Reading (En2)                          1
        ‒ Writing (En3)                          1
       the Welsh attainment targets should be weighted as follows:
        ‒ Oracy (Cy1)                            4
        ‒ Reading (Cy2)                          3
        ‒ Writing (Cy3)                          3
       the Welsh second language attainment targets should be weighted as follows:
        ‒ Oracy (Ca1)                            3
        ‒ Reading (Ca2)                          1
        ‒ Writing (Ca3)                          1
       the modern foreign language attainment targets should be weighted as follows:
        ‒ Oracy (MI1)                            2
        ‒ Reading (MI2)                          1
        ‒ Writing (MI3)                          1

For subject-level calculations of less than 1, the number should be rounded to the nearest
0.25 (to award a national curriculum outcome). For subject-level calculations of more than 1,
halves should be rounded upwards to the next whole number (to award a national
curriculum level).

An example for Welsh
To calculate the subject level for this learner, total column (c) then divide by the total of
column (b) (47 ÷ 10 = 4.7). Round to the nearest whole number. This learner has attained
Level 5.

 Attainment            (a) Level      (b) Weighting      (c) Level x
 target                                                  weighting
    Oracy (Cy1)            5                4               20
    Reading (Cy2)          5                3               15
    Writing (Cy3)          4                3               12
    Total                                  10               47

                                                19
Appendix E
Disapplication and modification

Only in very rare circumstances will there be a need to disapply national curriculum teacher
assessment for a pupil. For subjects with more than one attainment target, where a single
attainment target has been disapplied, an overall subject level may still be calculated using
the remaining attainment targets and their weighting as set out in Appendices C and D. A
subject level should not be awarded where more than one attainment target has been
disapplied. In this case, the overall subject level will be reported as disapplied.

Where it is necessary to disapply teacher assessment for a pupil, this may be done through:

    section 113 of the Education Act 2002, which specifies that some or all of the national
     curriculum may be modified or disapplied by a pupil’s statement of special
     educational needs
    sections 114–116 of the Education Act 2002, which specifies that some or all of the
     national curriculum may be temporarily disapplied for a pupil if, for the time being, it
     is inappropriate to offer the national curriculum as it currently applies to them.

For guidance on disapplication of the National Reading and Numeracy Tests see the
‘Disapplication’ section of the National Reading and Numeracy Tests – Test administration
handbook 2019/20.

Temporary disapplication

Temporary disapplications are made in accordance with the Education (National
Curriculum) (Temporary Exceptions for Individual Pupils) (Wales) Regulations 1999. A
temporary disapplication is a direction from a headteacher of a maintained school in respect
of a registered pupil at the school that the requirements of the national curriculum should be
disapplied for a specified period or modified in some way. They are not intended to provide
long-term exemptions from the national curriculum provisions and are likely to be needed in
rare circumstances only. A direction cannot be given if the circumstances that led to that
direction are likely to change within six months, or if the circumstances indicate a need for
the pupil to be assessed under section 323 of the Education Act 1996 with a view to making
or amending a statement of special educational needs.

It is expected that headteachers will use their powers of direction sensitively and sparingly.
All pupils should have the opportunity of benefiting from the national curriculum, the
framework of which provides wide scope for teachers to deal with the full range of individual
pupils’ needs without the need for exceptional arrangements. A temporary disapplication
should be considered only when it is clear that a pupil’s present circumstances or conduct
mean that they cannot participate fully in the national curriculum and its assessment
arrangements.

There are two types of temporary disapplication that headteachers can make under sections
114–116 of the Education Act 2002. These are as follows.

1.   A general direction can be used for pupils who are without or not needing a
     statement, but for whom temporary disapplication is nonetheless needed.

                                              20
Examples follow where general directions could be needed to allow exemption
     from aspects of the national curriculum. This list is not intended to be exhaustive.
     Nor should it be assumed that all such cases as those listed below will need
     temporary exemptions. It is only in rare circumstances that a temporary exemption
     should be considered. Such circumstances include:

         pupils who arrive from such a different educational system that they require a
          period of adjustment to the national curriculum
         pupils who have had spells in hospital, been educated at home or been excluded
          from school and need time to adjust
         pupils who temporarily have severe emotional problems (perhaps because of a
          family crisis) and need access arrangements.

2.   A special direction can be used for pupils who, in the opinion of the headteacher,
     have a long-term need for exemptions or modifications to the national curriculum,
     which can only be met through a statement of special educational needs, and for
     whom temporary exemption is necessary while the process of assessment or
     reassessment takes place.

     If, in the opinion of a headteacher, a pupil has (or probably has) special
     educational needs which are such that the local authority would be required to
     determine the special educational provision that should be made for them,
     whether initially or on review of an existing statement, it might be appropriate to
     give a special direction.

     These requirements apply also to directions that started as general directions but have
     been varied for the purposes of special educational needs assessment. Local
     authorities are responsible for the assessment of pupils in their area who need, or may
     need, special educational provision to be determined by the local authority to meet
     their needs.

Procedures for giving directions

Before giving a direction, the headteacher must:

    discuss the pupil’s circumstances and needs with their parents and teachers
    consult with educational psychologists, medical officers or other specialist staff
    in the case of a special direction, consult the local authority, and the responsible
     authority (if different). The responsible authority is the body responsible for maintaining
     the statement of special educational needs.

Form and content of the direction

The direction must be in writing and give brief particulars of:

    the provisions of the national curriculum being modified or disapplied
    the operative date of the direction, and if that is less than one month after the date on
     which the direction is given, the reasons for this (see ‘Duration of the direction’ on
     page 23)
    the operative period of the direction.

                                              21
It must also:

    explain the action that is being taken and the reasons for it
    state why exceptional arrangements are necessary insofar as these differ from what
     would otherwise be provided.

The following information should also be provided:

    (in the case of a general direction) the manner in which the headteacher will secure full
     implementation of the curriculum for the pupil at the end of the operative period
    (in the case of a special direction) a statement of the headteacher’s opinion, along
     with the reasons for that opinion, that the pupil probably has special educational needs
     for which the responsible authority would be obliged to make special education
     provision.

In addition, it is recommended that a general direction should:

    include the reasons why the pupil’s present circumstances make it inappropriate to
     continue offering the national curriculum provisions that currently apply to them
    indicate how these circumstances seem likely to change over the period of the
     direction
    indicate how the pupil will be enabled to adjust to those national curriculum
     requirements that have been modified or lifted during the direction
    advise of the right of the parent to appeal to the governing body.

In addition, a special direction must:

    have been the subject of consultation with the local authority
    include the reasons why, in the opinion of the headteacher, the pupil has, or probably
     has, special educational needs requiring an assessment of or amendments to an
     existing statement by the responsible authority.

It is recommended that a special direction should refer to any procedures the school has
used to analyse and monitor the pupil’s needs and difficulties and any action taken to
address them, including any special support offered.

Headteachers need not describe at the outset plans for reapplying the national curriculum to
the pupil in the event of a statement not being made or amended.

Variation and revocation of directions

A headteacher may vary any direction that they have given, except so as to extend its
operative period, if they consider the provision no longer appropriate for that pupil.

Where a headteacher considers a variation to a direction appropriate, they should (by a
notice in writing) set out:

    those provisions of the direction which are to be varied
    brief particulars of the variations to be made and the reasons for them.

                                             22
A variation to a direction shall not come into force until at least one month after the date on
which notice of variation is given, unless the headteacher is satisfied that it is essential in
the interests of the pupil, or for other educational reasons, for it to be brought into force
earlier.

Where a headteacher considers that a direction given by them is no longer appropriate for
the pupil, they may revoke it, by a notice in writing, giving brief particulars of:

    the reasons for the revocation
    the date on which the revocation is to take effect
    a description of the manner in which they propose to secure the full
     implementation, in relation to the pupil, of the provisions of the national curriculum
     after the direction has ceased to have effect (unless those particulars are
     unchanged from those contained in the initial direction, if any, except in their
     timing).

Duration of the direction

Any direction must specify when the exceptional arrangements will start and end (i.e. how
long the direction will last for), or the factors that will determine their ending.

The direction may not specify a date for its coming into force of less than one month from
the date on which it is given unless the headteacher is satisfied that it is essential in the
interests of the pupil, or for other educational reasons, that the direction should come into
force earlier.

The maximum period that a direction may apply for is:

    in the case of a general direction:

     ‒ a fixed period not exceeding six months

     or

     ‒ a period determinable when the headteacher is satisfied that the circumstances that
     gave rise to it no longer apply.

    in the case of a special direction:

     ‒ a period during which a statement of special educational needs is made or modified

     or

     ‒ a period ending not later than one month after the responsible authority gave
     notice to the headteacher that they do not intend to make or modify a statement of
     special educational needs for the pupil.

Any direction will cease to have effect if a pupil is removed from the register of a school. It is
for the headteacher of any school to which such a pupil transfers to judge the pupil’s needs
and make provisions accordingly.

                                               23
Information to be provided about directions

The following information must be provided about directions.

    Headteachers must give the direction in writing, stating whether the direction is
     general or special. This should indicate the nature of the alternative provision being
     made for the pupil and how long the disapplication will last, up to a maximum of six
     months.
    A copy must be kept at the school with the pupil’s educational records.
    Copies must be sent as soon as a direction is given, and in any event within three
     school days, to the chair of the governing body, the local authority (and the relevant
     authority if different from the authority which maintains the school) and at least one
     of the pupil’s parents as registered by the school.
    Copies must be sent by first class post and the parents’ copies must be sent to their
     registered address.
    Parents must be informed of their right of appeal.

Where headteachers have reason to believe that a parent may have difficulty in
understanding the direction, they must offer appropriate assistance, e.g. by providing an
interpretation or translation of the documents or arranging to discuss them with the parents.

Procedure for parental requests and appeals

Parents may ask the headteacher to give a direction temporarily exempting their child from
the national curriculum. Such requests may be made orally or in writing and should include
the reasons for it. The headteacher need not consider such a request more than once in
each proposed operative period for that direction, and the operative period of any further
direction. In considering potential requests for a direction, the following procedures need to
be followed.

    Headteachers should discuss requests with parents and seek to resolve any
     difficulties without resorting to formal procedures. Should this fail, parents may
     make a formal request either in writing or orally to the headteacher. They must give
     reasons for it.
    Headteachers must respond to requests within a fortnight. If they accept the request,
     they must send copies of the direction to the parents, the governing body and, where
     appropriate, the local authority.
    If the headteacher decides not to meet the request, they must write to the parents
     giving reasons for rejecting it and giving details of their right of appeal. Copies
     must be sent to the governing body and, in the case of a maintained school, the
     local authority and the responsible authority if different.
    Where a parent may have difficulty in understanding the letter, because of
     difficulty with reading or with understanding the language, the headteacher should
     make appropriate arrangements to explain it or arrange for a translation to be
     made where necessary.
    If the headteacher does not respond within a fortnight, or refuses the request, the
     parents have the right of appeal to the governing body.
    Governing bodies are expected to hear appeals with all due speed, to allow
     representations from parents, accompanied by a friend if they wish, as well as the
     headteacher, and to allow specialist staff to attend if necessary.

                                              24
   The governing body may either confirm the headteacher’s action or direct them to take
    any other action it considers appropriate. The governing body must notify the parents
    and headteacher in writing of its decision.
   If parents remain dissatisfied, they may make a complaint. In the case of
    maintained schools, this should be made under arrangements agreed by the local
    authority.

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Appendix F
Useful contacts

                               Assessment
For queries on assessment                          assessment@gov.wales
                               Branch
For queries on the National    National Reading    NRNT@gov.wales
Reading and Numeracy           and Numeracy
Tests and personalised         Tests Branch
assessments

For queries on the school      Curriculum          curriculum@gov.wales
curriculum                     Division
For queries on the             The Foundation      FoundationPhaseInfo@gov.wales
Foundation Phase               Phase Branch

For queries on the             Education           education-
Education Improvement          Business Planning   businessplanninggovernance@gov.
Grant                          and Governance      wales
                               Division

For queries on National        School Information NDC@gov.wales
Data Collection and            and Improvement
reporting of teacher           Branch
assessment

For queries about additional   Additional          AdditionalLearningNeedsBranch@g
learning needs                 Learning Needs      ov.wales
                               Branch

For queries on INSET days      Workforce           Workforceteam@gov.wales
                               Strategy Unit
For queries about              Pedagogy,           PLPLDivision@gov.wales
professional standards,        Leadership and
performance management         Professional
and continuous                 Learning Division
professional development

For data and validation        Education and       NDC@gov.wales
queries                        Skills
                               Statistics

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